In line with the Compliance Operating Model provide Oversight of the Appointed Representatives (AR’s) to establish whether they meet company standards.

The role will involve:

• Provide oversight of AR’s in line with the Compliance Operating Model to establish whether they are complying with company policy and Standards

• Undertake risk based monitoring of Regulated activity within the company and Associated entities

• Ensure Regulatory objectives are being met and good customer outcomes provided

• Provide feedback and reporting on adherence to Policy and Regulatory Standards to Oversight and Insight Management

• Conduct monitoring activity assessing 1LOD management controls and oversight

• Analyse intelligence output, identifying and executing relevant intervention activity

• Identify any areas of operational risk or compliance failures within the business and work with Management to rectify the issues

• Responsible for ensuring that where issues are identified appropriate mitigating actions are recommended to the business and tracked through to completion

• Conduct all aspects of thematic and risk based reviews, planning, field work, reporting and overseeing remedial activity

• Provide timely reporting to Oversight and Insight Management on the findings of Monitoring activity

• Maintain accurate and timely reporting a record keeping

• Supporting the wider Oversight and Insight team with projects and initiatives

Key Requirements:

• Understanding of the application of risk based monitoring

• Ideally hold the Level 4 Diploma or working towards

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